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Exclusive: Head of Compliance & MLRO (Private Wealth Management) – Asset Management or PWM Experience Required

£110 -£120K + Good Benefits and Bonus   | West End
Ref: 3413G

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 
Symes Collins have been retained by our Client, a successful boutique wealth and asset manager, to search for a new Head of Compliance & MLRO.  Specialising in offering investment management and wealth management services to high net worth private clients, our client is looking for someone who can operate strategically as part of the senior management team.  Reporting directly to the COO and Board, duties will include;
 
• Acting as Head of Compliance (CF10) you will have responsibility for the day-to-day management of the Compliance function, including advising the business on day-to-day regulatory matters
• Formulating the firm’s compliance strategy based on government legislation and the FCA’s rules and guidance on best practice.
• Ensuring that senior management remain informed of regulator and legislatives changes and their obligations under these changes and how they impact the business.
• Managing the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures, thereby ensuring operation within regulatory requirements.
• Overseeing the company’s Compliance Monitoring Programme, ensuring remedial action is taken where required.
• Making or supervising the submission of required reports to the FCA, and manage any visits by the regulator
• Acting as MLRO (CF11) and maintaining & ensuring the monitoring of effective  risk-based AML processes and procedures
• Managing and delivering all compliance related projects as well as implementation of new regulatory requirements as well as input into the development of technical systems and business processes to minimise risks associated with new products or services and business development
 
Candidates must be be graduates and/or professionally qualified and must have significant senior compliance experience gained in a similar Asset and/or Private Wealth Management environment. While a thorough knowledge of the FCA Regulations is required as important will be your ability to influence senior management and develop a good compliance culture throughout the business.
 
This is a very exciting time in our client’s development as they are looking to continue to grow what is already a successful and well respected business.  As such our client is looking for a Head of Compliance who is not only a thought leader and strategic planner but can also someone who is comfortable working in a small close knit collegiate environment where you will often need to take a sleeves rolled up approach.
 
It goes without saying that such a role requires above average interpersonal and communication skills and the ability to influence and lead at all levels where you will be part of the senior management team and have the autonomy to make your own decisions and develop the compliance department and culture in your style.
 
If you this role sounds like the next career move for you then please call Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to gary@symescollins.com
 
Symes Collins – Part of the Compliance Recruitment Solutions Group
 

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